Compliance Sr. Manager, Investment Advisory Compliance

Overview

Compliance Sr. Manager, Investment Advisory Compliance at Raymond James. Under intermittent supervision and with a high level of autonomy, uses extensive knowledge and skills obtained through education, experience, specialized training and / or certification in securities or banking industry compliance to administer and manage compliance functions related to Investment Advisor Representatives (IARs). Ensures alignment with SEC Regulations under the Investment Advisers Act of 1940. Leads major projects, programs, or processes with significant business impact. Influences strategic direction, develops tactical plans, and completes complex assignments with substantial latitude for un-reviewed actions or decisions. Provides comprehensive solutions to escalated problems or needs. Maintains extensive contact with internal customers and regulatory agencies to identify, research, analyze, and resolve complex issues.

Essential Duties and Responsibilities

• Oversees compliance exception reporting processes and approves corrective actions.
• May coach, train, and mentor others Compliance associates.
• May assist with the development and implementation of continuing education and training programs for the department in conjunction with management.
• Schedules and oversees compliance processes including scheduling, training, and review of compliance reporting.
• Establishes objectives and develops processes and procedures to ensure adherence to all regulatory requirements.
• Monitors and reviews all reporting, audits, and correspondence.
• Partner with business units to recommend policy and process changes to Senior Management.
• Ensures effective coordination occurs within assigned work group and with other work groups.
• Identifies, recommends, and works with other areas of the firm to automate and streamline functions to improve operational efficiencies of compliance systems.
• Serves as a resource on compliance issues to clients and staff.
• May serve as a compliance liaison on various committees and projects representing the interest of the department.
• Attends and may deliver presentations at industry-related conferences.
• Researches regulatory updates to identify linkages and trends and apply findings.
• Performs periodic reporting on compliance and operational issues as required.
• Assists in preparing the operational budgets for assigned functional area.
• Balances conflicting resource and priority demands.
• Performs other duties and responsibilities as assigned.
• Maintains department specific intranet information and assists with dissemination of field facing and internal communications.

Knowledge, Skills, and Abilities

Educational / Previous Experience Requirements

Licenses / Certifications

Travel

Less than 25%

Workstyle

Hybrid

At Raymond James our associates use five guiding behaviors (Develop, Collaborate, Decide, Deliver, Improve) to deliver on the firm's core values of client-first, integrity, independence and a conservative, long-term view.

We Expect Our Associates At All Levels To

Raymond James is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs.

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